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ImmunityBio, Inc. — Director's Dealing 2017
Jan 4, 2017
31529_dirs_2017-01-04_1e9ecc0f-701d-4301-b8f3-15adcdb5755b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NantKwest, Inc. (NK)
CIK: 0001326110
Period of Report: 2016-12-30
Reporting Person: SOON-SHIONG PATRICK (Director, Chairman and CEO, 10% Owner)
Reporting Person: Cambridge Equities, LP (10% Owner)
Reporting Person: MP 13 Ventures, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-30 | Common Stock | G | 450000 | $0.00 | Disposed | 40556557 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5618326 | Indirect |
| Common Stock | 600000 | Direct |
Footnotes
F1: Shares transferred for no value by Cambridge Equities, LP to the Chan Soon-Shiong NantHealth Foundation, a 501(c)(3) non-profit Delaware corporation.
F2: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.
F3: Shares held by the Chan Soon-Shiong Family Foundation, an exempt corporation organized under the laws of the State of Delaware (the "Foundation"). The Foundation has the sole power to vote and direct the disposition of all shares directly owned by the Foundation, except to the extent it may be deemed to share such power with the reporting person by virtue of the reporting person's control over the Foundation. The reporting person serves as Chairman of the Foundation.
F4: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the RSUs will vest as follows: 50% of the RSUs vested on the July 27, 2015, and 50% of the RSUs vested on July 27, 2016.